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Financial Advisers: ROGER GORDON SMITH Information

This is the detailed information about ROGER GORDON SMITH, it is the Financial Advisers, its unique identifying number allocated to the credit licensee is 000229755, the year the Financial Adviser first provided advice is 1968 (YYYY), the name of the register the record belongs to Financial Advisers. This data update on: 2020-10-28 16:55:10.

Financial Adviser Number: 000229755
Financial Adviser Name: ROGER GORDON SMITH
The role of the Financial Adviser: Financial Adviser
The year the Financial Adviser first provided advice: 1968
Adviser Town: Mount Waverley
Adviser State: VIC
Adviser Postcode: 3149
Adviser Country: Australia
  1. The sub type of the Financial Adviser: Financial Adviser
    Financial Adviser Status: Current
    Name of the licence holder: SENTRY FINANCIAL SERVICES PTY LTD
    Licence Number: 000286786
    Licence ABN: 30113531034
    The company(ies) or people who control the licensee's business: SENTRY GROUP PTY LTD
    The date the Financial Adviser commenced the appointment: 2005-09-20
    Authorised Representative Name: SENTRY FINANCIAL SERVICES PTY LTD
    Authorised Representative Number: 000286786
    Rep Appointed ABN: 30113531034
    Fin Deposit and Payment Products/Non-basic Deposit Products: 1
    Fin Life Products/Investment Life Insurance Products: 1
    Fin Life Products/Life Risk Insurance Products: 1
    Fin Retirement Savings Account Products: 1
    Fin Superannuation: 1
    Fin Margin Lending Facility/Non-Standard Margin Lending Facility: 0
    Provides details on the qualifications or training courses the adviser has completed that are relevant to providing FS: Diploma of Financial Services - Deakin
    Provides details on areas the Financial Adviser is restricted from giving advice on: Superannuation Authorisation excludes Self Managed Superannuation Funds advice

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Data Dictionary

The company(ies) or people who control the licensee's business: They can sometimes be a majority shareholder or able to control votes at meetings or board composition.
Disciplinary action type: Disciplinary action type. ASIC has regulatory powers in relation to financial advisers and can ban individuals from providing financial product advice.
Fin, e.g: Fin Carbon Credits/Carbon Unit, means Provide Financial Product Advice - Carbon Credits/Carbon Unit. The following logic is applied to product authorisation codes. IF Financial Adviser is authorised to provide advice on this product AND their status equals current THEN show 1 ELSE show null. Product Authorisations are for current Financial Advisers only, null values are used for ceased Financial Advisers.
If more than one entry exists they will be concatenated together and separated by a tilde.